DFX Intelligence

S•••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

S•••••••• M••••••••• L••

CRD 284290

LOS ANGELES, CA

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Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 19
On other graphs: 0
Observed: Jun 30, 2016 to May 5, 2026
25 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

T•• A•••• M••••••••• C•••••• L••

owned by this firm per Schedule A (the owner's CRD) · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0
Regulatory AUM: $355M••• Locked
Discretionary RAUM: $355M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• S•••••••• L••••••••• E••••• M••••• F•••• L•••	Hedge Fund	$201M	May 5, 2026	42	Mar 28, 2019	reported	n/a
T•• S•••••••• L••••••••• E••••• F••• I• L•	Hedge Fund	$112M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••••• J•••	EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL	Na	yes	05/2024	May 22, 2024	Oct 10, 2024
C•••••• A••••••••• C••••	Shareholder	E	yes	02/2013	Jun 30, 2016	Oct 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• A•••• M••••••••• C•••••• L••	n/a	Other adviser	$81B	N	yes	n/a
M••••••••• W••• A•••• M••••••••• L••	n/a	Asset manager	$79B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$355M	$315M	12.8%	$352M	0.3%	8	9	0	0

Relationships

Affiliated with (14)

→ M••••••••• W••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ T•• A•••• M••••••••• C•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ T•• I••••••••• M••••••••• C•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ B••••••• S••••• P•••••••• L•••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 5, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
May 5, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
May 22, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 30, 2016
Last observed: May 5, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Controls (17)

← T•• A•••• M••••••••• C•••••• L••OwnerSHAREHOLDER, ownership code B, domestic entity
Mar 30, 2017 to Oct 10, 2024factForm ADV
← B•••••• A•••••• J•••OwnerEXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL, ownership code NA, individual
May 22, 2024 to Oct 10, 2024factForm ADV
← W•••• D••••• C•••••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 18, 2016 to Oct 10, 2024factForm ADV
← S•••••••• V••••••• M••••••OwnerSENIOR VICE PRESIDENT, ownership code B, individual
Jun 30, 2016 to Oct 10, 2024factForm ADV
← Z••• J•••••• Q••••OwnerMANAGING DIRECTOR, ownership code C, individual
Jun 30, 2016 to Oct 10, 2024factForm ADV
← X•••••• G•••••OwnerGROUP MANAGING DIRECTOR AND GLOBAL CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 8, 2021 to Oct 10, 2024factForm ADV
← V••••• R••••••• M•••••OwnerGROUP MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2017 to Oct 10, 2024factForm ADV
← W••••••• J•••• A••••••OwnerSHAREHOLDER, ownership code C, individual
Mar 29, 2021 to Oct 10, 2024factForm ADV
← C•••••• A••••••••• C••••OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 30, 2016 to Oct 10, 2024factForm ADV
← C•••••• G•• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 30, 2016 to Oct 10, 2024factForm ADV
← C•••••• H••••••• L•••OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 30, 2016 to Oct 10, 2024factForm ADV
← C•••••• I••••••••• C••••OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 30, 2016 to Oct 10, 2024factForm ADV
← N••••• L••• A•••••••• I•••OwnerSHAREHOLDER, ownership code C, domestic entity
Oct 10, 2024 to Oct 10, 2024factForm ADV
← N••••• L••• I•••••••• C••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Oct 10, 2024 to Oct 10, 2024factForm ADV
← T•• T•• G••••• I•••OwnerSOLE MEMBER, ownership code E, domestic entity
Jun 30, 2016 to Oct 10, 2024factForm ADV
← W•• C••••••• L••OwnerSTATUS MEMBER, ownership code B, domestic entity
Nov 18, 2016 to Oct 10, 2024factForm ADV
← W•••••• C••••••OwnerMEMBER, ownership code E, domestic entity
Mar 28, 2019 to Oct 10, 2024factForm ADV